Judith L. Woodhouse
Professional summary
Judith Louise Woodhouse was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Judith is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Judith had worked at 9 firms, which includes SECURITIES AMERICA INC., SECURITIES AMERICA ADVISORS INC., EPLANNING ADVISORS INC, EPLANNING SECURITIES INC., CENTAURUS FINANCIAL INC., LAGOS WEALTH ADVISORS, UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, EQUITABLE ADVISORS LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2013 - September 15, 2014
SECURITIES AMERICA, INC.
July 15, 2013 - September 15, 2014
SECURITIES AMERICA ADVISORS, INC.
December 26, 2008 - February 15, 2013
SECURITIES AMERICA ADVISORS, INC.
December 26, 2008 - February 15, 2013
SECURITIES AMERICA, INC.
February 23, 2005 - December 31, 2008
EPLANNING ADVISORS INC
February 23, 2005 - December 31, 2008
EPLANNING SECURITIES, INC.
May 4, 2004 - February 28, 2005
CENTAURUS FINANCIAL, INC.
January 1, 2004 - February 25, 2005
LAGOS WEALTH ADVISORS
January 13, 2003 - May 5, 2004
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 11, 2000 - December 5, 2002
EQUITABLE ADVISORS, LLC
June 12, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 12, 1998 - December 5, 2002
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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